Freedom of Information Act (FOIA) Report...CIA information Berman v. CIA, 501 F.3d 1136 (9 th Cir....

Freedom of Information Act (FOIA) Report

October 1, 2008Through

September 30, 2009

February 2010

OPM Annual Freedom of Information Act (FOIA) Report for Fiscal Year (FY) 2009

I. BASIC INFORMATION REGARDING REPORT

1. Margaret A. Miller FOIA Public Liaison U.S. Office of Personnel Management (OPM) Center for Information Services/Plans and Policies Group Room 5415 1900 E Street, NW Washington, DC 20415-7900 Tel: 202-606-FOIA Fax: 202-418-3252

2. The electronic address for this report on OPM’s World Wide Web site: www.opm.gov/efoia.

3. A paper copy of this report may be obtained from the address listed above.

II. MAKING A FOIA REQUEST

1. Our FOIA Reference Guide (located at www.opm.gov/efoia/foiaguide.asp) includes information on how to make a FOIA request to OPM.

2. OPM often withholds personally identifiable “third-party” information contained within personal files (SF50) and background investigations (SF86) under the exemption b(6).

III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS

1. Agency-specific acronyms used in this report:

a. OPM – Office of Personnel Management

b. CIS – Center for Information Services

c. FISD – Federal Investigative Services Division

2. Definitions of terms used in this report:

a. Administrative Appeal – a request to a Federal agency asking that it review at a higher administrative level a FOIA determination made by the agency at the initial request level.

http://www.opm.gov/efoia/pdf/FOIA2008.pdfhttp://www.opm.gov/efoia/foiaguide.asp

b. Average Number – the number obtained by dividing the sum of a group of numbers by the quantity of numbers in the group. For example, of 3, 7, and 14, the average number is 8.

c. Backlog – the number of requests or administrative appeals that are pending at an agency at the end of the fiscal year that are beyond the statutory time period for a response.

d. Component – for agencies that process requests on a decentralized basis, a “component” is an entity, also sometimes referred to as an office, division, bureau, center, or directorate, within the agency that processes FOIA requests. The FOIA now requires that agencies include in their Annual FOIA Report data for both the agency overall and for each principal component of the agency.

e. Consultation – the procedure whereby the agency responding to a FOIA request first forwards a record to another agency for its review because that other agency has an interest in the document. Once the agency in receipt of the consultation finishes its review of the record, it responds back to the agency that forwarded it. That agency, in turn, will then respond to the FOIA requester.

f. Exemption 3 Statute – a Federal statute that exempts information from disclosure and which the agency relies on to withhold information under subsection (b)(3) of the FOIA.

g. FOIA Request – a FOIA request is generally a request to a Federal agency for access to records concerning another person (i.e., a “third-party” request), or concerning an organization or a particular topic of interest. FOIA requests also include requests made by requesters seeking records concerning themselves (i.e., “first-party” requests) when those requesters are not subject to the Privacy Act, such as non-U.S. citizens. Moreover, because all first-party requesters should be afforded the benefit of the access provisions of the FOIA and those of the Privacy Act, FOIA requests also include any first-party requests where an agency determines that it must search beyond its Privacy Act “systems of records” or where a Privacy Act exemption applies, and the agency looks to FOIA to afford the greatest possible access. All requests that require the agency to utilize the FOIA in responding to the requester are included in this report.

Additionally, a FOIA request includes records referred to the agency for processing and direct response to the requester. It does not, however, include records for which the agency has received a consultation from another agency. (Consultations are reported separately in section XII of this report.)

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h. Full Grant – an agency decision to disclose all records in full in response to a FOIA request.

i. Full Denial – an agency decision not to release any records in response to a FOIA request because the records are exempt in their entirety under one or more of the FOIA exemptions, or because of a procedural reason, such as when no records could be located.

j. Median Number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.

k. Multitrack Processing – a system in which simple requests requiring relatively minimal review are placed in one processing track and more voluminous and complex requests are placed in one or more other tracks. Requests granted expedited processing are placed in yet another track. Requests in each track are processed on a first-in/first-out basis.

i. Expedited Processing – an agency will process a FOIA request on an expedited basis when a requester satisfies the requirements for expedited processing as set out in the statute and in agency regulations.

ii. Simple Request – a FOIA request that an agency using multitrack processing places in its fastest (nonexpedited) track based on the low volume or simplicity of the records requested.

iii. Complex Request – a FOIA request that an agency using multitrack processing places in a slower track based on the high volume or complexity of the records requested.

l. Partial Grant/Partial Denial – in response to a FOIA request, an agency decision to disclose portions of the records and to withhold other portions that are exempt under the FOIA, or to otherwise deny a portion of the request for a procedural reason.

m. Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects.

n. Perfected Request – a request for records that reasonably describes such records and is made in accordance with published rules stating the time, place, fees (if any), and procedures to be followed.

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o. Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects.

p. Range in Number of Days – the lowest and highest number of days to process requests or administrative appeals.

q. Time Limits – the time period in the statute for an agency to respond to a FOIA request (ordinarily 20 working days from receipt of a perfected FOIA request).

3. Concise descriptions of the nine FOIA exemptions:

a. Exemption 1 – classified national defense and foreign relations information.

b. Exemption 2 – internal agency rules and practices.

c. Exemption 3 – information that is prohibited from disclosure by another Federal law.

d. Exemption 4 – trade secrets and other confidential business information.

e. Exemption 5 – interagency or intra-agency communications that are protected by legal privileges.

f. Exemption 6 – information involving matters of personal privacy.

g. Exemption 7 – records or information compiled for law enforcement purposes, to the extent that the production of those records (A) could reasonably be expected to interfere with enforcement proceedings, (B) would deprive a person of a right to a fair trial or an impartial adjudication, (C) could reasonably be expected to constitute an unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose the identity of a confidential source, (E) would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions, or (F) could reasonably be expected to endanger the life or physical safety of any individual.

h. Exemption 8 – information relating to the supervision of financial institutions.

i. Exemption 9 – geological information on wells.

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IV. EXEMPTION 3 STATUTES

A. Exemption 3 Statutes Relied Upon to Withhold Information

Statute Type of Information Withheld Case Citation Number of Times

Relied Upon per Component

Total Number of Times Relied

Upon by Agency 50 United

States Code (U.S.C.) 403g CIA functions

Minier v. CIA, 88 F.3d 796 (9th Cir.

1996) 3 3 National

Security Act of 1974 or CIA Act of 1949

Intelligence sources and methods/CIA

functions and information

CIA v. Sims, 471 U.S. 159, 167

(1985) 1 1 50 United

States Code Annotated

(U.S.C.A.) 403-1(i)(1), 403(g) CIA information

Berman v. CIA, 501 F.3d 1136 (9th

Cir. 2007) 2 2

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V. FOIA REQUESTS

A. Received, Processed, and Pending FOIA Requests

Number of Requests Pending

as of Start of Fiscal Year

Number of Requests Received

in Fiscal Year

Number of Requests

Processed in Fiscal Year

Number of Requests

Pending as of End of Fiscal

Year Agency Overall 99 3,273 3,317 55

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B. (1) Disposition of FOIA Requests – All Processed Requests

Number

of Full

Grants

Number of Partial Grants/ Partial Denials

Number of Full Denials

Based on Exemptions

Number of Full Denials Based on Reasons Other Than Exemptions

No Records

All Records Referred to

Another Component or Agency

Request Withdrawn

Fee-

Related Reason

Records Not

Reasonably Described

Improper FOIA

Request for Other Reason

Not

Agency Record

Duplicate Request

Other

*Explain in chart below

TOTAL

Agency Overall 3,021 62 37 22 13 64 8 5 15 25 16 29 3,317

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B. (2) Disposition of FOIA Requests – “Other” Reasons for “Full Denials Based on Reasons Other Than Exemptions” from Section V, B (1) Chart

Description of “Other” Reasons for Denials from Chart B (1) and Number of Times Those Reasons Were Relied Upon

TOTAL

Agency Overall

Items were administratively closed when requestors no longer expressed

an interest in seeking items under the FOIA. 29

B. (3) Disposition of FOIA Requests – Number of Times Exemptions Applied

Ex.1

Ex.2

Ex. 3

Ex. 4

Ex. 5

Ex. 6

Ex. 7(A)

Ex. 7(B)

Ex. 7(C)

Ex. 7(D)

Ex. 7(E)

Ex. 7(F)

Ex.8

Ex.9

Agency Overall

4

6 1 11

5

30

1

1

0

0

0

0

0

0

VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS

A. Received, Processed, and Pending Administrative Appeals

Number of Appeals Pending

as of Start of Fiscal Year

Number of Appeals Received

in Fiscal Year

Number of Appeals

Processed in Fiscal Year

Number of Appeals Pending

as of End of Fiscal Year

3 30 31 2

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B. Disposition of Administrative Appeals – All Processed Appeals

Number Affirmed on Appeal

Number Partially Affirmed and

Partially Reversed/Remanded

on Appeal

Number Completely Reversed/Remanded

on Appeal

Number of Appeals Closed

for Other Reasons TOTAL

22 3 5 1 31

C. (1) Reasons for Denial on Appeal – Number of Times Exemptions Applied

Ex.1

Ex.2

Ex. 3

Ex. 4

Ex. 5

Ex. 6

Ex. 7(A)

Ex. 7(B)

Ex. 7(C)

Ex. 7(D)

Ex. 7(E)

Ex. 7(F)

Ex.8

Ex.9

2 1 6 0 6 10 0 0 0 0 0 0 0 0

C. (2) Reasons for Denial on Appeal – Reasons Other Than Exemptions

No Records

Records Referred at Initial Request

Level

Request Withdrawn

Fee-Related Reason

Records Not

Reasonably Described

Improper Request

for Other Reasons

Not Agency Record

Duplicate Request

or Appeal

Request in

Litigation

Appeal

Based Solely on Denial of Request for Expedited Processing

Other

*Explain in chart below

0 0 0 0 1 0 0 0 0 0 0

C. (3) Reasons for Denial on Appeal – “Other” Reasons from Section VI, C (2) Chart

Description of “Other” Reasons for Denial on Appeal from Chart C (2) and Number of Times

Those Reasons Were Relied Upon TOTAL

Description #

0

10

11

C. (4) Response Time for Administrative Appeals

C. (5) Ten Oldest Pending Administrative Appeals

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

25 43 7 100

10th Oldest Appeal

9th 8 7 6 5 4 3th th th th th rd 2nd Oldest Appeal

Date of Receipt of 10 Oldest Appeals 8/26/09 Number of Days Pending 35

VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS

A. Processed Requests – Response Time for All Processed Perfected Requests**

SIMPLE COMPLEX EXPEDITED PROCESSING













Agency Overall N/A N/A N/A N/A 64 37 1 2,666 60 51 24 60

** Due to the nature of OPM’s FOIA tracking process, all perfected requests are captured as complex requests. OPM is working to correct the process.

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B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted














Agency Overall N/A N/A N/A N/A 64 37 1 2,666 60 60 60 60

C. Processed Requests – Response Time in Day Increments

Simple Requests

1-20 Days

21-40 Days

41-60 Days

61-80 Days

81-100 Days

101-120 Days

121-140 Days

141-160 Days

161-180 Days

181-200 Days

201-300 Days

301-400 Days

401+ Days TOTAL

Agency Overall 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Complex Requests

1-20 Days

21-40 Days

41-60 Days

61-80 Days

81-100 Days

101-120 Days

121-140 Days

141-160 Days

161-180 Days

181-200 Days

201-300 Days

301-400 Days

401+ Days TOTAL

Agency Overall 523 765 1851 65 32 9 8 10 3 1 1 4 45 3,317

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1-20 Days

21-40 Days

41-60 Days

61-80 Days

81-100 Days

101-120 Days

121-140 Days

141-160 Days

161-180 Days

181-200 Days

201-300 Days

301-400 Days

401+ Days TOTAL

Agency Overall 0 1 3 0 0 0 0 0 0 0 0 0 0 4

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Requests Granted Expedited Processing

D. Pending Requests – All Pending Perfected Requests


Number Pending



Number Pending



Number Pending



Agency Overall N/A N/A N/A 48 297 155 1 13 13

E. Pending Requests – Ten Oldest Pending Perfected Requests

10th Oldest

Request and Number of

Days Pending

9th 8th 7th 6th 5th 4th 3rd 2nd

Oldest Request

and Number of Days Pending

Agency Overall

8/26/08

401

8/4/08

423

3/5/08

575

1/29/08

611

1/14/08

626

9/18/07

744

4/23/07

892

3/15/07

931

2/2/07

972

11/30/05

1,401

16

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VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER

A. Requests for Expedited Processing

Number Granted

Number Denied

Median Number of

Days to Adjudicate

Average Number of

Days to Adjudicate

Number Adjudicated

Within 10 Calendar Days

Agency Overall 4 0 3 7 4

B. Requests for Fee Waiver

Number Granted

Number Denied

Median Number of

Days to Adjudicate

Average Number of

Days to Adjudicate

Agency Overall 11 3 5 7

IX. FOIA PERSONNEL AND COSTS

PERSONNEL COSTS

Number of “Full-Time

FOIA Employees”

Number of “Equivalent Full-Time

FOIA Employees”

Total Number of “Full-Time

FOIA Staff”

(The sum of columns

1 and 2)

Processing Costs

(At initial request and

appeal levels)

Litigation-Related Costs

Total Costs

Agency Overall 20 5.5 25.5 $1,984,575 $4,930 $1,989,505

X. FEES COLLECTED FOR PROCESSING REQUESTS

Total Amount of Fees Collected Percentage of Total Costs

Agency Overall $20,845 >1%

XI. FOIA REGULATIONS

OPM's regulations (5 CFR 294) are available at www.gpoaccess.gov/cfr/index.html. Our fee schedule is explained in our FOIA Reference Guide at www.opm.gov/efoia .

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http://www.gpoaccess.gov/cfr/index.htmlhttp://www.opm.gov/efoia

XII. BACKLOGS, CONSULTATIONS, AND COMPARISONS

A. Backlogs of FOIA Requests and Administrative Appeals Number of Backlogged

Requests as of End of Fiscal Year

Number of Backlogged Appeals as of End of

Fiscal Year

Agency Overall 39 2

B. Consultations on FOIA Requests – Received, Processed, and Pending Consultations

Number of

Consultations Received From Other Agencies That Were Pending at Our Agency as of Start

of Fiscal Year

Number of Consultations

Received From Other Agencies During

Fiscal Year

Number of Consultations Received From Other Agencies

That Were Processed by Our Agency During

Fiscal Year

Number of Consultations Received From Other Agencies That Were Pending at Our Agency as of End

of Fiscal Year


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C. Consultations on FOIA Requests – Ten Oldest Consultations Received From Other Agencies and Pending at Our Agency

10th Oldest Consultation and Number

of Days Pending

9th 8th 7th 6th 5th 4th 3rd 2nd

Oldest Consultation and Number

of Days Pending

Agency Overall

N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

D. Comparison of Numbers of Requests From Previous and Current Annual Report – Requests Received, Processed, and Backlogged

NUMBER OF REQUESTS RECEIVED NUMBER OF REQUESTS PROCESSED

Number Received During Fiscal Year From Last Year’s

Annual Report

Number Received During Fiscal Year

From Current Annual Report

Number Processed During Fiscal Year From Last Year’s

Annual Report

Number Processed During Fiscal Year


Agency Overall 7,132 3,273 6,137 3,317

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Number of Backlogged Requests as of End of Fiscal Year From

Previous Annual Report

Number of Backlogged Requests as of End of Fiscal Year From

Current Annual Report

Agency Overall 93 39

E. Comparison of Numbers of Administrative Appeals From Previous and Current Annual

Report – Appeals Received, Processed, and Backlogged

NUMBER OF APPEALS RECEIVED NUMBER OF APPEALS PROCESSED

Number Received During Fiscal Year From Last Year’s

Annual Report

Number Received During Fiscal Year


Number Processed During Fiscal Year From Last Year’s

Annual Report

Number Processed During Fiscal Year



Number of Backlogged Appeals

as of End of Fiscal Year From Previous Annual Report

Number of Backlogged Appeals as of End of Fiscal Year From

Current Annual Report

Agency Overall 3 2

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United StateS Office Of PerSOnnel ManageMent

Chief Information Officer1900 E Street, NW

Washington, DC 20415

CIO/IM/RM-0001

Freedom of Information Act (FOIA) Report...CIA information Berman v. CIA, 501 F.3d 1136 (9 th Cir....

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